Risk Manager (IT Compliance)

McLean 1 (19050), United States of America, McLean, Virginia

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Risk Manager (IT Compliance)

The Risk Office drives quality, efficiency, and effectiveness of Risk and Compliance across Mosaic Tech. The Associate is a core member of the team responsible for a wide-range of Risk and Compliance functions, as well as implementing changes to new and/or existing processes or procedures. This position involves strong leadership, teamwork & communication skills, attention to detail, proactive thinking and the ability to adapt to change quickly.


  • Fully understand the IT controls and associated test criteria to ensure proper and thorough review and testing for the required IT controls
  • Provide guidance on IT policies, standards, and procedures
  • Provide compliance advice on complex projects and emerging technologies
  • Prepare for, coordinate, and respond to internal and external audits
  • Follow-up on audit findings and remediation plans and activities as required
  • Perform review of Sarbanes Oxley (SOX) control designs for gaps and weaknesses and drive control improvement
  • Prepare for, coordinate, and manage IT SOX controls testing & validation
  • Monitor SOX testing for failures and drive any needed remediation
  • Partner with Cyber and Tech Risk Management to proactive risk identification, assessment & monitoring
  • Interact with business counterparts and other IT colleagues to ensure appropriate coverage of shared controls and/or shared processes
  • Proactively engage team members and project leads to ensure system changes or enhancements consider Audit controls and IT standards before implementation
  • Review and verify governance documents and procedures for accuracy and effectiveness
  • Create and disseminate reporting and metrics related to the risk environment to key stakeholders
  • Meet professional obligations through efficient work habits such as, meeting deadlines, honoring schedules, coordinating resources and meetings in an effective and timely manner, and demonstrating respect for others
  • Point of contact for compliance and audit engagements

Basic Qualifications:
  • Bachelor's Degree or Military Experience
  • At least 3 years of Compliance or Risk Management experience

Preferred Qualifications:
  • Bachelor's Degree in Business Management or Finance or Accounting/Auditing or Information Security
  • 5+ years of Compliance or Risk Management experience
  • 5+ years of Financial Services Industry experience
  • Knowledge about emerging technologies like Cloud, Machine Learning, DevOps, Microservices etc.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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